Financial Services Industry
Industry: Email Alert RSS FeedWhat's in a (branch) name? For some, $$.(Short Interests)
Investment News, October, 2005
Byline: Bruce Kelly NEW YORK - In an effort to lighten the compliance burden on broker-dealers, regulators have hammered out a uniform definition of a branch office. Last Thursday, NASD and the North American Securities Administrators Association Inc., both of Washington, and the New York Stock Exchange, said they "applauded'' the Securities and Exchange Commission's recent approval of a common definition of a branch.
Industry observers, however, said that independent-contractor broker-dealers owned by insurance companies could be hit hardest by the change in the definition of "branch office'' that the SEC approved last month. NASD requires its broker-dealer members to pay $75 for each branch office they register. Until now, NASD has had...
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